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Results:1-10 of 898

SEC issues investor alert about non-traditional index funds
  • Morrison & Foerster LLP
  • USA
  • August 10 2018

On August 6, 2018, concurrent with their release of an investor alert regarding index funds8, the United States Securities and Exchange Commission


A Touch Of Class: Mutual Fund Share Class Developments (Part 1)
  • Dechert LLP
  • USA
  • June 11 2018

Over the past two years, the mutual fund distribution and share class landscape has experienced considerable changes in light of several regulatory


Click-Here for Your Fund Report: SEC Endorses Web-Delivery and Asks for Comments
  • K&L Gates
  • USA
  • June 11 2018

On June 4, 2018, the Securities and Exchange Commission (“SEC”) adopted Rule 30e-3 (the “Rule”) to provide mutual funds, exchange-traded funds


SEC Proposes Expanding Safe Harbor to Promote Research on Investment Funds
  • Mayer Brown
  • USA
  • May 24 2018

On May 23, 2018, the Securities and Exchange Commission (the “Commission”) proposed establishing a research report safe harbor (Rule 139b) for


SEC Requests Comments On Bitcoin-Related ETF Rules
  • Drinker Biddle & Reath LLP
  • USA
  • April 30 2018

The Securities and Exchange Commission (SEC) recently called for public comment on two proposed rule changes to the Chicago Board Options Exchange


House Passes Alleviating Stress Test Burdens to Help Investors Act, Which Would Exempt Mutual Funds and Investment Advisers from Dodd-Frank Stress Testing Requirements
  • Vedder Price PC
  • USA
  • April 16 2018

On March 20, 2018, the U.S. House of Representatives passed a bill, referred to as the Alleviating Stress Test Burdens to Help Investors Act (the


SEC Liquidity Rule Guidance and Rulemaking - A More Flexible Approach
  • Dechert LLP
  • USA
  • April 5 2018

Adopted by the U.S. Securities and Exchange Commission (SEC) in 2016, Rule 22e-4 under the Investment Company Act of 1940 (Liquidity Rule) has


Under Advisement: SEC Scrutinizes Wealth Management Industry
  • Cadwalader Wickersham & Taft LLP
  • USA
  • March 21 2018

Recent events have made it clear that there is an increased regulatory focus on the conduct of investment professionals in the wealth-management


SEC’s share class selection disclosure initiative: what’s next
  • Eversheds Sutherland (US) LLP
  • USA
  • February 22 2018

On February 12, 2018, the Division of Enforcement of the US Securities and Exchange Commission (SEC) announced the Share Class Selection Disclosure


New SEC Enforcement Initiative Encourages Advisers to Self-Report Mutual Fund Share Class Violations
  • Baker & Hostetler LLP
  • USA
  • February 22 2018

On February 12, 2018, the Division of Enforcement of the U.S. Securities and Exchange Commission (“SEC”) announced a new initiative to encourage